Financial Institutions notes:
1. The answers provided should cover the period 2011 - 2013 (unless otherwise specified).
2. Where a question may have multiple responses, please include all responses that may apply in the order of frequency/priority.
3. Where a question may have a qualified response, please input response and the qualification.
4. In the event that assistance is required to complete the questionnaire, please email your query email@example.com.
5. Ensure that the declaration to certify that the information provided on the application form is correct and has been dated.
6. Questionnaires should be completed by 22nd August, 2014.
The questionnaire will have to be completed once you commence the process. You will not be able to save your session on the questionnaire and return to it at a later date. To complete the questionnaire you will need to provide some statistical data on your firm/entity. Having the statistical information readily available prior to completing the questionnaire will make the process easier and more user-friendly. Therefore, please have the following statistical information (where applicable) available prior to starting the questionnaire.
1. Name and address of any Branch/Subsidiary/Office
2. Income derived from services provided, and the percentage of each as a total of annual income
3. Number of STR/SARs filed for each of the years 2011-2013
4. Client Base as a percentage of total clients (i.e., high net worth, retail. Institutional, PEP, other)
5. Top five jurisdictions from which clients originate
6. Preferred methods of payment to your firm/entity (cash, cheque, credit card, debit card, other) and the percentage of revenue each represents
7. Number of transactions and volume of transactions carried out with clients, individuals or companies based in any of the countries listed by the Financial Action Task Force (FATF) as Non-cooperative countries or territories that you have conducted financial transactions with in the last 12 months (a list of these countries can be found under the Glossary of Terms in the Questionnaire section of the website)
8. The percentage of your client base that is low, medium and high risk, based on your firm/entity’s risk profile.
In relation to the International Cooperation questionnaire you will need to have the following information on hand:
1. Number of requests for information received from each Competent Authority (local and foreign) for years 2011-2013
2. The average response time by your firm/entity to these requests for years 2011-2013